Course Title: Conduct financial planning analysis and research

Part A: Course Overview

Program: C5343 Diploma of Financial Planning

Course Title: Conduct financial planning analysis and research

Portfolio: BUS Portfolio Office

Nominal Hours: 50

Regardless of the mode of delivery, represent a guide to the relative teaching time and student effort required to successfully achieve a particular competency/module. This may include not only scheduled classes or workplace visits but also the amount of effort required to undertake, evaluate and complete all assessment requirements, including any non-classroom activities.


Course Code




Learning Mode

Teaching Period(s)


City Campus


650T Vocational Business Education

Face-to-Face or Internet

Term1 2016,
Term2 2016,
Term1 2017,
Term2 2017,
Term1 2018,
Term2 2018,
Term1 2019,
Term2 2019,
Term1 2020,
Term2 2020

Course Contact: Callie Harvey

Course Contact Phone: +61 3 9925 5772

Course Contact Email:

Course Description

This unit describes the skills and knowledge required to undertake financial planning analysis and research. It encompasses evaluating a client’s current situation, identifying issues and researching requirements and parameters for extracting and analysing information, and summarising research information.

It applies to individuals who, within their level of authority, apply specialised knowledge, systematic approaches and analytical techniques to research and prepare information customised for clients and/or situations.

Work functions in the occupational areas where this unit may be used are subject to regulatory requirements. Refer to the FNS Implementation Guide Companion Volume or the relevant regulator for specific guidance on requirements.

Pre-requisite Courses and Assumed Knowledge and Capabilities


National Competency Codes and Titles

National Element Code & Title:

FNSFPL502 Conduct financial planning analysis and research


1. Evaluate client’s current situation and identify issues

2. Identify research requirements and parameters

3. Extract and analyse information according to research requirements and parameters

4. Summarise research information

Learning Outcomes

Overview of Assessment

In order to achieve competency in this unit, you must provide:

Performance Evidence

Evidence of the ability to:

  • conduct financial planning research that demonstrates:
    • evaluation of client’s current situation and identification of issues
    • identification of research requirements and parameters
    • extraction and analysis of information
    • use of a wide range of available information sources
    • compliance with relevant legislative and regulatory requirements, relevant industry codes of practice and organisational operating guidelines
  • accurately summarise research information and test its integrity
  • prioritise findings, validated against client requirements, and document research for financial plans.

Knowledge Evidence

To complete the unit requirements safely and effectively, you must:

  • identify and describe a wide range of financial products and services
  • discuss the risks and implications associated with use of financial products and services
  • explain financial products and services and the associated benefits from a financial planning perspective
  • identify financial industry information sources and outline research techniques for accessing this information
  • compare and contrast financial planning strategies
  • describe the key features of:
    • organisational policy and procedures relating to research
    • relevant legislation and regulations governing trusts and companies
    • relevant industry code of practice requirements
  • describe the key features of taxation and social security systems and regulations, and their effect on specified financial products
  • outline the key aspects of theories of investment, portfolio management and management of investment and risk.

Assessment Conditions

Assessment must be conducted in a safe environment where evidence gathered demonstrates consistent performance of typical activities experienced in the financial planning field of work and include access to:

  • office equipment, technology, software and consumables. 

You are advised that you are likely to be asked to personally demonstrate your assessment work to your teacher to ensure that the relevant competency standards are being met.


Feedback will be provided throughout the semester in class and/or online discussions. You are encouraged to ask and answer questions during class time and online sessions so that you can obtain feedback on your understanding of the concepts and issues being discussed. Finally, you can email or arrange an appointment with your teacher to gain more feedback on your progress.

You should take note of all feedback received and use this information to improve your learning outcomes and final performance in the course.